Realta Investment Advisors, Inc

Registered investment adviser · Wilmington, DE · CRD #134952

Form ADV data as of 2026-09-01

Regulatory assets

$385.4 million

Total accounts

1,231

Employees

Disclosure events

Firm details

Website: http://www.realtawealth.com
Telephone: 888-657-5200
SEC file number: 801-68000
Most recent Form ADV filing: 2026-08-06
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 9 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$237.5 million
Non-discretionary regulatory assets under management	$147.9 million
Total regulatory assets under management	$385.4 million
Discretionary accounts	704
Non-discretionary accounts	527
Total accounts	1,231
Regulatory assets under management attributable to non-U.S. persons	$1.1 million

People

Total employees (excluding clerical)	61
Employees performing investment advisory functions (including research)	54
Employees who are registered representatives of a broker-dealer	58
Employees registered as investment adviser representatives with a state	60
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	25
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$216.8 million
Clients for whom the firm has custody	568
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	3

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerInsurance company or agencySponsor or syndicator of limited partnerships

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	835	$175.9 million
High net worth individuals	378	$202.5 million
Pension and profit sharing plans (not the participants or government plans)	11	$6.4 million
Corporations or other businesses not listed above	7	$608,914